1. Records Management Compliance Training
Developed by
The University of Texas at Dallas
Department of Environmental Health & Safety
Records Management Program
Updated February 2018

2. Policies and Regulations
As a State of Texas agency, UT Dallas and all of its employees must comply with Texas Records Management policies and regulations. Below are the policies that identify your responsibilities as handlers of state records.
Policies
Preservation and Management of State Records and Other Historical Resources, Government Code, Chapter 441, Subchapter L - State Records Management Laws
Administrative Rules of Texas State Library and Archives Commission Texas Administrative Code, Title 13, Chapter 6 - Texas Administration Code.
UT Dallas’ Policy of Records Management and Retention - Records Management and Retention - UTDBP3001.
UT System’s Records and Information Management - UT System Policy - UTS115.
UT Dallas’ Records Retention Schedule - Records Retention Schedule.

3. Your Responsibilities
Below are your main Records Management responsibilities.
Coordinate with the RRO before disposing of any state records
Correctly dispose of state records that have reached their retention
Follow specifications laid out by the RRO regarding how to dispose state records
Coordinate with the RRO to correctly store state records
Store state records for their mandated retention periods
Follow specifications laid out by the RRO regarding how to store state records
Refer to the UT Dallas Records Retention Schedule for the retention periods of state records
Work with the RRO to make any necessary addendums to the schedule
Your
Responsibilities
Corresponding Duties

4. What does this training cover?
Texas Records Management laws only apply to State Records. Records considered “State Records” are identified in this section.
Identifying State Records
Each type of State Record is handled differently. The four types of records are clarified in this section.
Classifying Types of State Records
There are mandated requirements for handling certain types of records. Handling requirements are reviewed in this section.
Handling State Records
There are mandated procedures for disposing of State Records. Disposal procedures are reviewed in this section.
Destroying Records

5. Identifying State Records
Texas Records Management laws only apply to state records.
State records are defined as-
Most of what we handle on a daily basis fits this definition and is considered a state record.
Classifying Types of Records
“…any written, photographic, machine-readable, or other recorded information created or received by or on behalf of a state agency…that documents activities in the conduct of the state business or use of public resources.”
Handling State Records
Destroying Records

6. Identifying State Records
Examples of State Records include… s
Meeting minutes/notes/recordings
Calendar entries
Time sheets
Vacation requests
Account reconciliations
Classifying Types of Records
Handling State Records
Destroying Records

7. Classifying Types of State Records
Identifying
State Records
The four types of State Records are:
Record Type
Record Description
Example of Record
Confidential
Records under restricted access or inaccessible to the public due to state or federal law.
Information in personnel file; Student records; Audit working papers
Vital
Records containing information needed to continue operations during/after a crisis.
Records that fulfill our obligations.
Contracts; Patents; Academic records; Customer records; Lab notebooks; Policy or Procedure manuals
Archival
Records with enduring historical value that will be preserved on a continuing basis until an archivist indicates it no longer needs to be retained.
Manuscripts; Maps; Photographs; Printed materials/recorded information relating to their history and culture of UT Dallas
Transitory*
Records with temporary usefulness and are not integral part of any other set of records. These records are required for only a limited period of time to complete an action.
Routine messages; Junk mail; Preliminary document drafts; Materials with no informational value
Classifying Types of Records
Handling State Records
Destroying Records
*Transitory records are the only records that can be disposed of without ever having been kept on file.

8. Handling State Records
Identifying
State Records
The law requires us to handle state records in specific ways
The Texas Public Information Act requires that our records remain accessible to the public
Some state records are important for the operation of the university, while others have value as original source materials
The proper handling of state records allows for:
Improved access to information
Efficient use of space
Classifying Types of Records
Handling State Records
Destroying Records

9. Handling State Records
Identifying
State Records
The best handling practice for each of the 4 types of State Records can be found below.
Confidential Records
Keep on file for the retention period
Vital Records
Archival Records
Keep on file until reviewed by archivist
Transitory Records
Dispose of when convenient
Classifying Types of Records
Handling State Records
Destroying Records

10. Guidelines on What to Keep
Identifying
State Records
Make sure you only keep the original record.
You can keep the copies, but never longer than the original record.
Original records should only be retained by the initiating office.
Records must be kept if the record…
Was created by your department.
Details a business action with which you or your office are directly involved.
Contains certain information that is not available anywhere else.
Was received from outside UT Dallas and relates to UT Dallas matters.
Classifying Types of Records
Handling State Records
Destroying Records

11. Guidelines on How Long to Keep Records
Identifying
State Records
Records must be kept for their allotted retention period.
All retention periods are listed in the Records Retention Schedule.
Records need to be kept longer than their retention period if the record is involved in any claim, audit, litigation, negotiation, administrative review, public information request, or other action.
Classifying Types of Records
Handling State Records
Destroying Records
Helpful Hint: Filing records by date makes it easier to follow the Records Retention Schedule.

12. Destroying Records
Identifying
State Records
Once a record reaches its retention period (identified in the Records Retention Schedule), follow the disposal procedures below:
After receiving approval to dispose of your records, you must use one of the below record destruction methods:
Shredding the records using an office shredder
Placing the records in a secured shred bin provided by EH&S
Complete a Request for Disposal of State Records form
Send the completed form to
Wait for a response to your request
Once your approval has been granted, have your records shredded
Classifying Types of Records
Handling State Records
Destroying Records

13. Resources & Contacting Us
For more information about our program and additional resources
UT Dallas Records Management website
To review the retention periods of your records
UT Dallas Records Retention Schedule
To dispose of records that have reached their retention period
Request for Disposal of State Records form
If you have any questions, please contact the Records Management Team.
Phone: